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2020067014602 Igor Peter Kislitsa CRD 6324794 Complaint jlg (2021-1640996410022).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Igor Peter Kislitsa CRD No. 6324794, Respondent. Disciplinary Proceeding No. 2020067014602 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Igor Peter Kislitsa failed to respond to two FINRA staff requests for information and documents made pursuant to FINRA Rule 8210. As a result, Kislitsa violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION 2. Kislitsa first registered

2021071384201 Matthew Priester CRD 7338683 AWC jlg (2021-1640996410782).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071384201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew Priester (Respondent) Non-Registered Fingerprint Person CRD No. 7338683 Pursuant to FINRA Rule 9216, Respondent Matthew Priester submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

2019061329901 Ian E. James CRD 2602300 AWC sl (2021-1640910021802).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061329901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ian E. James (Respondent) General Securities Representative CRD No. 2602300 Pursuant to FINRA Rule 9216, Respondent Ian E. James submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020065035202 Pasquale James Rappa CRD 5901386 AWC sl (2021-1640910021814).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065035202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Pasquale James Rappa (Respondent) General Securities Representative and General Securities Principal CRD No. 5901386 Pursuant to FINRA Rule 9216, Respondent Pasquale James Rappa submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purposes of proposing a settlement of the alleged rule violations described below.